ΠΕΡΙΓΡΑΦΗ

This intensive training programme provides a structured professional development framework for Dealers in Securities, covering both client and broker (dealing in own account activities). 

Designed predominantly around the EU regulatory environment, it equips participants with advanced market and product knowledge, including derivatives, CFDs, and securities trading fundamentals.

The programme emphasises risk management and compliance, focusing on liquidity, capital requirements, and hedging strategies for complex exposures. Participants will also gain a thorough understanding of regulatory obligations, such as suitability assessments, KYC, leverage and margin rules, transaction reporting, and market abuse prevention. 

With a strong focus on best execution practices and market microstructure, the programme blends technical expertise with regulatory insight, enabling dealers to anticipate market shifts, manage risks effectively, and operate within a robust compliance framework.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

By the end of the programme participants will be prepared to navigate dynamic markets with confidence and integrity, specifically they will be able to: 

• Understand financial instruments: Identify and explain characteristics of derivatives (especially CFDs) and their correlation with underlying assets.
• Identify Brokerage models: Differentiate between traditional brokers and CFD brokers, including reference to CFD pricing, spreads, margin requirements, and risk/exposure assessment.
• Learn Market microstructure: Explain liquidity providers, order routing, broker execution models, and the role of proprietary trading within regulatory boundaries.
• Describe Market analysis & dealing setup: Describe how market analysis supports anticipation, preparation, and execution in dealing operations.
• Implement Risk management: Identify five major risks in dealing, apply effective risk management techniques, and implement hedging strategies for securities/CFDs while ensuring compliance.
• Understand Liquidity & capital requirements: Understand and comply with capital adequacy, liquidity, leverage, and margin rules to protect clients and support sustainable performance.
• Ensure Client protection & classification: Getting involved in Suitability and KYC requirements and
• describe differences in treatment between retail and professional
• Meet Regulatory obligations: Fulfil transaction reporting duties, detect and escalate suspicious activity, and integrate compliance frameworks into daily operations.
• Apply Best Execution principles: Describe what Best Execution means and demonstrate how to apply these principles in practice.
• Implement Compliance integration: Embed regulatory compliance and risk management into daily dealing operations to uphold market integrity, client trust, and long-term sustainability.

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The programme is ideal for:

• Front Office / Dealing Desk Roles: CFD Dealers / Traders / Dealing officers/Trading officers
• Sales Traders / Account Managers / Customer support – Focus on Dealing matters
• Risk & Compliance Functions: Risk Managers / Risk Monitoring officers
• Compliance officers
• Chief Risk Officer (CRO) / Head of Compliance
• Middle Office Roles: Operations Analysts, Regulatory Reporting Specialists
• Management & Oversight: Head of Dealing / Trading Desk Managers

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline 

Core Market & Product Knowledge

• Understanding derivatives and correlations with underlying assets
• Advanced CFD trading mechanics: pricing, spreads, margin requirements
• Market microstructure: liquidity providers, order routing, execution models
• Securities trading fundamentals, core assets: equities, FX, commodities
• Advanced market analysis & Ability to anticipate market shifts
• Exercise: Markets Analysis Skills– Preparation and Execution

 Risk Management & Compliance

• Risk Identification and Management
• Adhering to liquidity and capital requirements for trading activities
• Hedging strategies for Securities/CFD exposures & compliance
• Proprietary Trading: Hedging, Leverage and Regulation
• Exercise: Capital Adequacy: Covering excess

 Regulatory Compliance: Suitability, Reporting and Best Execution

• Suitability and KYC and Regulatory frameworks
• Leverage and Margin Requirements – Regulatory frameworks
• Transaction Reporting and Authorized Trade Repositories
• Market Abuse Regulation and Reporting
• Best Execution – Regulatory frameworks
• Exercise:
  • Market abuse – Front-Running
  • Best Execution Measures

Training Style 

This intensive programme combines interactive lectures, real-life case studies, and practical simulations to deepen participants’ market and product knowledge. The focus will be on active learning, where participants engage with complex scenarios to assess their strengths and areas for improvement. 

Through feedback and hands-on exercises, participants will be able to apply risk management and compliance strategies to real-world trading environments. The training ensures that participants not only understand key concepts but can implement them confidently in their daily operations, enhancing their decision-making and market anticipation skills. 

CPD Recognition 

This programme may be approved for up to 6 CPD units in Financial Regulation. Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.